Our Staff has compiled our research into a database of FINRA Broker Disclosures for LPL Financial LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Cain Benjamin Kobert | 2673742 | 2 | 08/19/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Alexander Sullivan | 6348034 | 9 | 08/19/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Leigh A Allen | 5711971 | 1 | 08/15/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Ryan Cabrera | 6750446 | 1 | 08/13/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Riley Robert Giauque | 7180635 | 1 | 08/12/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Jason Keith Norton | 4776196 | 3 | 08/12/2024 | Customer Dispute | Denied | $81,957.00 | $0.00 | See FINRA Report |
| Lam V Nguyen | 7068072 | 2 | 08/02/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kelly Briana Hammer | 6057420 | 2 | 08/01/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Spencer Reed | 7597637 | 2 | 07/31/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Kercher Gantz | 2318683 | 1 | 07/31/2024 | Customer Dispute | Denied | $150,000.00 | $0.00 | See FINRA Report |